CITIZENS INVESTMENT ADVISORS of JOHNSTON, RI is an SEC-registered investment adviser (CRD 112738).
Compensation: % of AUM.
Clients served: Other.
| Name | Role | Location |
|---|---|---|
| David Howard Shore | CHIEF COMPLIANCE OFFICER | — |
| KOPP BRADFORD BURNETT | GROUP EXECUTIVE VICE PRESIDENT | — |
| FEIN KEVIN LINDSEY | CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| DISANTO SALVATORE CARMINE | PORTFOLIO MANAGER | — |
| HANNA JEFFREY KENNEY | PORTFOLIO MANAGER | — |
| RIDER DEBORAH JANET | CHIEF COMPLIANCE OFFICER; COMPLIANCE; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| GLADDING KENT WOOD | SENIOR VICE PRESIDENT | — |
| FORESTEIRE DEBORAH JANET | COMPLIANCE | — |
| SUCHY GREGORY JOHN | SENIOR VICE PRESIDENT | — |
| BUGG JASON CLEVELAND | INTERIM CHIEF COMPLIANCE OFFICER | — |
| LAPLANTE DANIEL | CHIEF INVESTMENT OFFICER, SENIOR VICE PRESIDENT | — |
| CAHILLANE EDWARD PATRICK | SENIOR VICE PRESIDENT / INTERIM CHIEF COMPLIANCE OFFICER | — |
| NOVAK DIANE PATRICIA | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| SHORE DAVID HOWARD | CHIEF COMPLIANCE OFFICER | — |
| HANS MICHAEL D | CHIEF INVESTMENT OFFICER, SENIOR VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-08-12 | regulatory | ON AUGUST 12, 2015, THE U.S. COMPTROLLER OF THE CURRENCY ("OCC") ISSUED A CONSENT ORDER AND A CONSENT ORDER FOR A CIVIL MONEY PENALTY ("OCC ORDERS") AGAINST CITIZENS BANK, NATIONAL ASSOCIATION ("CITIZENS BANK") RELATING TO DEPOSIT RECONCILIATION PRACTICES FROM JANUARY 2008 THROUGH NOVEMBER 2013. THE… | Final | $10.0M |
| 2015-08-12 | regulatory | ON AUGUST 12, 2015, THE U.S. CONSUMER FINANCIAL PROTECTION BUREAU ("CFPB") ISSUED A CONSENT ORDER ("CFPB ORDER") AGAINST CITIZENS FINANCIAL GROUP, INC.; CITIZENS BANK, N.A.; AND/OR CITIZENS BANK OF PENNSYLVANIA (COLLECTIVELY, THE "BANKS") RELATING TO DEPOSIT RECONCILIATION PRACTICES FROM JANUARY 200… | Final | $7.5M |
| — | regulatory | — | — | — |